Peter Kohli—Mutual Fund Investment Fraud

California stockbroker fraud attorneyPeter Kohli Allegedly Sold Marshad Promissory Notes in a “Desperate Attempt” to Raise Funds to Cover Fund Expenses and Postpone the Inevitable Doom

Peter Kohli’s DMS Advisors was allegedly in trouble. Kohli, as part of an attempt to rescue the fund, allegedly misappropriated money purportedly solicited to invest in DMS’s holding company, Marshad Capital Group, according to SEC Documents currently under review by attorneys Alan Rosca and James Booker.

The SEC Documents further allege that Kohli allegedly sold Marshad promissory notes in a “desperate attempt” to raise cash to cover fund expenses and to prevent the almost certain collapse of the fund, according to the SEC’s complaint.

Kohli also allegedly sold warrants in Marshad, which was under his control, allegedly falsely telling investors that Marshad was going forward toward issuing an IPO, the SEC further alleges. The Peiffer Rosca Wolf securities lawyers are currently investigating Peter Kohli’s alleged mutual fund investment fraud.

Pennsylvania Stockbroker Peter Kohli Suffers Emergency Asset-freeze from the SEC after Allegedly Defrauding Investors in His Fledgling Mutual Fund Business

Pennsylvania stockbroker Peter Kohli has received word that he is under an emergency asset-freeze from SEC after allegedly defrauding investors in his fledgling mutual fund business, according to an SEC Complaint presently being reviewed by attorneys Alan Rosca and James Booker.

The DMS Funds series consisted of four emerging-market mutual funds.

The SEC further alleges that Kohli looked past the risks of DMS, that the firm would not be able to pay its expenses, and that he oversold the sophistication of his DMS, the SEC reports.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of alleged investments fraud scams and are currently investigating Peter Kohli’s alleged mutual fund investment scam. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.

Investors who believe they lost money as a result of Peter Kohli’s alleged mutual fund investment scheme may contact the securities lawyers at Peiffer Rosca Wolf, Alan Rosca or James Booker, for a free no-obligation evaluation of their recovery options, at 888-998-0520.

Alan Rosca (1157 Posts)

Alan is a securities lawyer. He also teaches Securities Regulation at the Cleveland-Marshall College of Law. He focuses his legal practice on complex commercial and financial litigation and arbitration, particularly in the areas of securities and investment fraud. His office is in Cleveland, Ohio.


In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow cases about which we report, and/or to publish subsequent blogs regarding various developments that may occur in such cases. Readers are encouraged to conduct their own research regarding any such cases and any developments that may or may not have occurred in such cases.